Wolff Asset Management, LLC | | | investor protection violation | 2023 | PA-BKG | $5,000 |
Robbins Capital Management, Inc. | | | investor protection violation | 2024 | TN-SEC | $5,000 |
Gries & Associates, LLC | | | accounting fraud or deficiencies | 2024 | PCAOB | $65,000 |
Baker Tilly US, LLP | | | accounting fraud or deficiencies | 2024 | PCAOB | $80,000 |
Mazars USA LLP | | | accounting fraud or deficiencies | 2024 | PCAOB | $60,000 |
SW Audit | | | accounting fraud or deficiencies | 2024 | PCAOB | $60,000 |
WithumSmith+Brown, PC | | | accounting fraud or deficiencies | 2024 | PCAOB | $2,000,000 |
HG Vora Capital Management LLC | | | investor protection violation | 2024 | SEC | $950,000 |
RenovaCare, Inc. | | | investor protection violation | 2024 | SEC | $500,000 |
3D/L Capital Management, LLC | | | investor protection violation | 2024 | SEC | $285,607 |
ShapeShift AG | | | investor protection violation | 2024 | SEC | $275,000 |
Clark Schaefer Hackett & Co. | | | investor protection violation | 2024 | SEC | $80,881 |
Contrarian Capital Management, L.L.C. | | | investor protection violation | 2024 | SEC | $521,326 |
Octopi Brewing, LLC | | | tax violations | 2024 | ATTTB | $47,043 |
Nawabi Enterprise and Hyperion Consulting Inc. | | | investor protection violation | 2024 | CFTC | $9,000,000 |
Empires Consulting Corp. | | | investor protection violation | 2024 | CFTC | $64,356,794 |
Blue Moon Investments Inc. | | | investor protection violation | 2024 | CFTC | $204,622,580 |
Guaranty Bank and Trust Company | | | banking violation | 2024 | FDIC | $80,500 |
EFG International AG | | | economic sanction violation | 2024 | OFAC | $3,740,442 |
Imelda & Rekan | | | accounting fraud or deficiencies | 2024 | PCAOB | $1,000,000 |
Navarro Amper & Co. | | | accounting fraud or deficiencies | 2024 | PCAOB | $1,000,000 |
Pan-China Singapore PAC | | | accounting fraud or deficiencies | 2024 | PCAOB | $75,000 |
Berkower LLC | | | accounting fraud or deficiencies | 2024 | PCAOB | $25,000 |
Fontanella Associates LLC CPA & Consulting Firm | | | accounting fraud or deficiencies | 2024 | PCAOB | $25,000 |
Freedman & Goldberg, C.P.A.'s, P.C. | | | accounting fraud or deficiencies | 2024 | PCAOB | $25,000 |
R. Bolko CPA P.A | | | accounting fraud or deficiencies | 2024 | PCAOB | $30,000 |
Sassetti LLC | | | accounting fraud or deficiencies | 2024 | PCAOB | $25,000 |
Halperin Ilanit CPA | | | accounting fraud or deficiencies | 2024 | PCAOB | $200,000 |
GeaSphere LLC | | | investor protection violation | 2024 | SEC | $100,000 |
Bradesco Global Advisors Inc. | | | investor protection violation | 2024 | SEC | $20,000 |
Credicorp Capital Advisors LLC | | | investor protection violation | 2024 | SEC | $30,000 |
InSight Securities Inc. | | | investor protection violation | 2024 | SEC | $20,000 |
Monex Asset Management Inc. | | | investor protection violation | 2024 | SEC | $30,000 |
Senvest Management LLC | | | investor protection violation | 2024 | SEC | $6,500,000 |
Genesis Global Capital, LLC | | | investor protection violation | 2024 | SEC | $21,000,000 |
Delphia (USA) Inc. | | | investor protection violation | 2024 | SEC | $225,000 |
Global Predictions Inc. | | | investor protection violation | 2024 | SEC | $175,000 |
Commonwealth Equity Services, LLC d/b/a Commonwealth Financial Network | | | investor protection violation | 2024 | SEC | $93,274,068 |
ClearPath Wealth Management, LLC | | | investor protection violation | 2024 | SEC | $27,130,905 |
GA Investors | | | investor protection violation | 2024 | SEC | $1,191,938 |
Advisor Resource Council | | | investor protection violation | 2024 | SEC | $300,000 |
Halitron, Inc. | | | investor protection violation | 2024 | SEC | $191,024 |
Wayzata Investment Partners LLC | | | investor protection violation | 2024 | SEC | $60,000 |
ABCO Energy Inc. and ABCO Solar Inc. | | | investor protection violation | 2024 | AZ-CC | $8,666,559 |